Form U4 definition

Form U4 means the uniform application for securities industry registration or transfer.
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Form U4 means the current Uniform Application for Securities Industry Registration or Transfer as issued by FINRA.
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Form U4 means the Uniform Application for Securities In- dustry Registration or Transfer.
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Examples of Form U4 in a sentence

  • The Exchange uses Form U4 as part of its procedure for registration and oversight of Member personnel.

  • Any person required to complete Form U4 shall promptly electronically file any required amendments to Form U4 with the CRD System.

  • The Chief Compliance Officer may approve such activity, only after applicable licensing requirements have been met and appropriate disclosures have been made in Parts 1, 2A and 2B of Form ADV and the individual’s Form U-4.

  • In addition, if applicable, the CD will ensure that a registered representative’s Form U-4 is updated with FINRA.

  • The investment adviser representative is under a continuing obligation to update information required by Form U4 as changes occur.

  • Such procedures shall, at a minimum, provide for a search of reasonably available public records to be conducted by the member, or a third-party service provider, to verify the accuracy and completeness of the information contained in the applicant’s Form U4.

  • Applications for association with a Member shall be made on Form U4 and such other forms as the Exchange may prescribe, and shall be delivered to the Exchange in such manner as designated by the Exchange.

  • In addition, each member shall establish and implement written procedures reasonably designed to verify the accuracy and completeness of the information contained in an applicant’s initial or transfer Form U4 no later than 30 calendar days after the form is filed with LTSE.

  • In addition, if applicable, the CD will ensure that a registered representative’s Form U4 is updated with the FINRA.

  • Persons associated with a Member registering with the Exchange shall electronically file a Form U4 with the Central Registration Depository (“CRD”) System by appropriately checking the Exchange as a requested registration on the electronic Form U4 filing.

Related to Form U4

  • Rule 462(b) Registration Statement means a registration statement and any amendments thereto filed pursuant to Rule 462(b) relating to the offering covered by the registration statement referred to in Section 1(a) hereof.

  • method statement means a written submission by the Contractor to the Project Manager in response to this EMPr or a request by the Project Manager and ECO. The method statement must set out the equipment, materials, labour and method(s) the Contractor proposes using to carry out an activity identified by the Project Manager when requesting the Method Statement. This must be done in such detail that the Project Manager and ECO is able to assess whether the Contractor's proposal is in accordance with this specification and/or will produce results in accordance with this specification;

  • Annual Report means any Annual Report provided by the Issuer pursuant to, and as described in, Sections 3 and 4 of this Disclosure Certificate.